Thomas Michael Buckley

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2010 → Present
  Lpl Financial Llc
  Itasca, IL

Previous Registrations

• 2007-05-29 → 2010-02-11
  Citigroup Global Markets Inc.
  Chicago, IL
  Streamwood, IL
  Elk Grove Village, IL
• 2002-06-25 → 2007-05-29
  Citicorp Investment Services
  Elk Grove Village, IL
  Elk Grove Village, IL

Other Businesses

1. 12/09/2009: BUCKLEY EVANS, LLC - REAL ESTATE RENTAL - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - OWN AND RENT PROPERTIES WITH DIRECT FAMILY; 1100 PAVILLION DR UNIT 104, ISLE OF PALMS, SC 29451;1529 BEN SAWYER BLVD, MT PLEASANT, SC 29464. 2. 4/8/2010: BUCKLEY FINANCIAL SERVICES - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - DBA for LPL Business (entity for LPL business). 3. 5/6/2011: Strategic Investment Partners - Business Entity For Tax/Investment Purposes Only - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - Per the advice of our attorney, we set up an LLC (Strategic Investment Partners) for the sole purpose of paying our joint expenses. This LLC was approved through compliance by Jonathan Zulauf 4/19/2010 - 1% TIME SPENT 4. 9/24/2012: BUCKLEY WEALTH MANAGEMENT - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - DBA for LPL Business (entity for LPL business). 5. 12/16/2020 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Start Date: 6/10/2019 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-29
• S63 Uniform Securities Agent State Law Examination
  1992-05-11